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| Job Location | London |
| Education | Not Mentioned |
| Salary | Competitive salary |
| Industry | Not Mentioned |
| Functional Area | Not Mentioned |
| Job Type | Permanent , full-time |
The main focus on this role is in the regulatory space as a Head of compliance but experience in the AML side would also be useful as there is potential for this role to also cover the MLRO The Head of Compliance is responsible for upholding the FCA requirementsby ensuring adequate systems and controls are in place to allow regulated business to be carried out correctly. In performing also the role of MLRO, the person invited to perform that function must be individually approved by the FCA, on the application ofthe firm, before performing the function. The FCA expect that the individual will be based in the UK. In FCA-regulated firms, the head of Compliance and MLRO is responsible for the oversight of all aspects of the firms AML/CTF activities and is the focalpoint for all activity within the firm relating to anti-money laundering. supporting and co-ordinating senior management focus on managing the money laundering/terrorist financing risk in individual business areas. the establishment and maintenance of thefirms AML/CTF systems reviewing Internal reports and submitting external reports submitting an annual report to the senior management which assesses the operation and effectiveness of the firms systems and controls in relation to managing money launderingrisk. preparing and submitting Reports required by the FCA Controlling and monitoring effective business systems, processes and procedures to satisfy the obligations place upon the firm as an UK FCA Regulated entity; Overseeing the compilation and deliveryof policies and procedures that implement the requirements of the FCA and all applicable regulations and legal obligations; Writing or revising relevant compliance policies and procedures to adapt to regulatory and business changes; Ensuring that the Board,Directors and Senior Management have sufficient information and are kept informed of the issues affecting the effectiveness of compliance and any risk exposure that may have been identified; Implementing and overseeing an annual compliance audit plan. Identifyrisks, and develop and execute the Compliance Monitoring Programme within set timeframes and ensure that issues are escalated appropriately; Ensuring that processes and procedures include controls to deliver fair and unbiased treatment to clients and customers,including ways in which framework contracts are presented, complaints are handled and financial promotions are advertised; Performing Compliance reviews and approvals of new products, services and outsourcing requests; Providing balanced advice that enablesbusiness development within a risk-based approach delivered and supported by Senior Management and Directors.